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December 22, 2016

Finra Fines 12 Firms Over Record Protection
Wells Fargo Advisors, LPL and RBC among those found to have used the wrong electronic file formats.
DOL Rule Behind $4B RIA’s Move to LPL
Advisors find indie network ‘impressive’ in adapting to regulatory hurdles.
Wells Fargo to Roll Out Its First ETF
Product will combine a multifactor strategy with factor risk parity to deal with volatility.
Ways to Save Clients Money on Taxes Before Year's End
Maxing out retirement contributions and paying forward deductible expenses can significantly lower tax liability.
The Best Laid Plans of FAs...
A goal without a plan is just a wish.